Introduction to

Internal Audits
Steps and techniques
By www.22000-Tools.com

Internal Audits

Purpose

Internal audits play a critical role in

maintaining and improving a
Management System.

Determine if the system is meeting

requirements

Identify nonconformances

Drive continuous improvement

Measure compliance with the documented

system

Internal Auditors
Internal auditors are responsible for verifying the

effective implementation of the food safety management

system.
Internal auditors must complete an internal auditor

training course (See our Online Training at www.22000Tools.com)

Auditors:
Find objective evidence that the system is implemented and
effective
Identify nonconformances
Where the system is not implemented or operating as planned
Where the system does not meet requirements of the standard

Types of Audits

In addition to internal audits there are 2and

and 3rd party audits. Each type of audit
differs in purpose and focus.

3rd Party Audits: an audit by an independent

organization with no stake in the management
system, for example your certification audit.

2and Party Audits: an outside company that

conducts an audit but has a relationship with
the organization, for example a supplier audit.

Internal Audits: employees or contractors for

an organization auditing for the organization.

Internal Audits

Focus on compliance to the

organizations documented food safety
management system

Auditors will compare what is being done

to the documented policies, procedures
and other FSMS documentation

Is the process done according to the

plan?

Are employees aware of, trained on and

following the FSMS documentation and
requirements?

Internal Audit or
Inspection?

Many companies have GMP inspections

or regularly scheduled inspections of
Prerequisite programs.

These differ from audits because:

They are typically based on a standard

checklist that designed to look at each
point individually and determine if a
requirement is being followed

Internal audits look at the system and

include the interaction of processes

The Audit Program

First, an audit program must be

planned and implemented. Designate
responsibility for an audit coordinator
that will:

Maintain the audit schedule

Assign auditors

Initiate audits

Audit Coordinator
The audit coordinator with work with

management to identify how the audits will

be organized.

One effective method is to divide the facility

into sections or departments for auditing.

For example:

Research and Development

Sales and Marketing

Production

Quality Assurance

Management and Administration

The Audit Schedule

Prepare an audit schedule. Each area

must be audited at least one a year,

but for an effective program plan on
auditing each area at least twice.

The Audit Plan

Identify what

processes or
procedures
must be audited
in each area or
department.
These will be

included in the
audit plan for
the area.

The Audit Plan

When an internal audit is coming up on the

schedule, the audit coordinator will determine how
much time and how many auditors are required.

Based on the status and importance, as well as the

number of procedures that apply to the area and
must be included in the audit.

The amount of time allotted has a direct effect on the

scope and depth of the audit.

The auditor/s assigned must be independent of the

area being audited.

The Audit Plan

Once your schedule

is complete it is time
to get ready for your
first audit.
Prepare your audit

plan based on the

processes and
procedures you
identified.

Audit Steps
Internal audit steps:
Create audit schedule
Complete audit plan
Hold opening meeting
Conduct audit
Document Findings
Prepare audit report
Hold closing meeting
Prepare audit file
Follow up

Performing the Audit

After the opening meeting you will start

your audit.

Using your checklists and procedures as

references, go out to observe the process
and talk to people in the department

You are looking for evidence that the

Food Safety Management System is
working effectively

An effective audit will depend on your

ability to put people at ease and
encourage open honest communication

Key Auditor
Attributes

Communication skills
Tactful

Ability to listen
Reword questions when needed
Use local terminology

Objective

Flexible

Persistent

Curious

Techniques

The auditee may be stressed

Smile, relax

Point out good things that you see

Summarize with Everything looks

good here when you can

As the auditor, you are creating the

audit culture for your organization

Techniques

Use open ended questions, they

provide more information. Ask
What

Where
Why
Who
When

Ask for clarification or more information

if you do not understand.

Techniques

Keep people informed of what you are

finding

Point out nonconformances as you go

Make sure the auditee understands

what you see as the nonconformance

There should not be surprises at the

closing meeting when you present your
findings

Performing the Audit

As an auditor you will:
Check documents and records
Ask questions
Observe processes and compare them
with documented procedures and work
instructions
Investigate any differences
Follow audit trails, be curious
Take good notes

Performing the Audit

Throughout the audit, you will take

detailed notes on what you find.

Be specific on what is reviewed and
what is found
The information you write down will be
used to identify nonconformances and
to assist the department in finding
and understanding what you observed

Documenting the
Audit
Once you complete your audit, you will prepare

an audit report and document any

nonconformances.
The report will also include:
General information
Documents reviewed
Persons interviewed
General summary and assessment of how the

system is performing

Documenting the
Audit
When your documentation is

complete you will be ready to hold

your closing meeting. The lead
auditor will lead the meeting.
Thank the group for their cooperation
Remind them that this is an
evaluation of the processes not the
people

The Closing Meeting

Summarize the findings
Highlight areas that are working well
Review each of the nonconformances, allow questions
and discuss the finding to make sure that the group
understands the nonconformances
Discuss any corrective actions that you followed up on
that were not found to be effective
Have the group sign the audit report as a record of
attendance
Give a copy of the table of nonconformances to the
area management

The Audit File

Final audit file includes:
Audit plan
Audit checklists
Audit report

Summary
Internal Audits are one of the most important pieces of the

food safety management system

Implementing an effective system will help ensure an

effective food safety management system, and successful

certification audits
Training of the auditors is the key to having an effective

internal audit program.

Train your audit team with our interactive online training

program. Each auditor will complete the practice audit and

develop the skills and confidence they need to ensure your
program is the best it can be. Online Internal Auditor Training:
www.22000-Tools.com

Online Internal
Auditor Training

by

www.22000-Tools.com

Available for SQF, BRC, FSSC 22000 and ISO 22000

Get first hand experience with each step as you complete the course

exercises and perform an practice audit of our fictional company

"Mandy's Vanilla". Upon successful completion of the final test, you
will be able to print your certificate.
During this audit you will have access to the documents and records

you need to conduct an interactive audit of Mandy's Vanilla giving you

practice on audit plans, preparing checklists, questioning the staff at
Mandy's, reviewing records and procedures and identifying and
documenting nonconformances.

Online Internal
Auditor Training

by

www.22000-Tools.com
Our course is available on-demand, is approximately 4-

6 hours long, and can be completed in multiple

sessions.
Dear Cynthia,
I have just completed the SQF Internal Auditor Training module online. I think this a great

course! The scope of the training is extensive and gives the trainee all the tools
necessary to develop an effective internal auditing strategy. Whether you have an
existing program or are starting from scratch, this training will strengthen your program.
This online training module was accepted by our SQF Auditor to satisfy the Internal

Auditor training requirement. You can complete the modules at your own pace and
practice as much as needed. It is the most cost effective way to get Internal Auditor
training. There are no travel or hotel costs making this a great way to train one person
or team of internal auditors. Thanks for putting together such a great training tool!